SEC Halts IRA Scam That Cost Investors $22 Million
Utah-based retirement plan administrator hid losses and allegedly used forged letters and signatures to funnel client money into high-risk investments, the SEC says.
New Hire Roundup: Ohio Securities Commissioner Andrea Seidt to Lead NASAA
Stephanie Zaffos joined Convergent Wealth Advisors, Scivantage welcomed Jim Toussignant, and the SEC announced three staff promotions.
SEC Slams Father, Son for Bilking Terminally Ill Clients
SEC charged a father and son in Lexington, S.C., with running a fraud designed to illegally profit from the deaths of terminally ill individuals.